RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
M•••••• D••• H•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · West Des Moines, Ia
- A•••••• A••••••• S••••••• formerAug 3, 2012 to Sep 5, 2025 · West Des Moines, Ia
- L••••• F•••••••• G•••• independent RIAAug 22, 2011 to Aug 9, 2012 · Des Moines, Ia
- L•• F•••••••• L•• BD affiliatedAug 5, 2011 to Aug 17, 2012 · Des Moines, Ia
- C••• F•••••••• S•••••••• L••• formerApr 25, 2011 to May 5, 2011 · San Diego, Ca
- W•••• F•••• I••••••••• L•• unclassifiedSep 4, 2002 to Jun 23, 2009 · San Francisco, Ca
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to L••••• F•••••••• G••••left Aug 17, 2012, registered Aug 22, 2011 (-361 days) · Other
- L••••• F•••••••• G•••• to A•••••• A••••••• S•••••••left Aug 9, 2012, registered Aug 3, 2012 (-6 days) · Other
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 5, 2011, registered Aug 5, 2011 (92 days) · Other
- W•••• F•••• I••••••••• L•• to C••• F•••••••• S•••••••• L•••left Jun 23, 2009, registered Apr 25, 2011 (671 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address